Thesis Proposal

WRITING A THESIS PROPOSAL: INDEPENDENT LEARNING RESOURCES
2001 Learning Centre, University of Sydney

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Learning Centre
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Education Building A35
(beside Manning House)
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Email: lc@stuserv.usyd.edu.au
Website: http:/ / www.usyd.edu.au/ lc
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Contents
(1) Introduction 3
(2) What is a Thesis Proposal? 11
(3) Writing the Proposal 13
(4) The Introduction 15
(5) Making the Purpose Clear 18
(6) Bringing it all Together 23
(7) Evaluation of the Proposal 24
Appendix A
Thesis Proposal Models - Social Sciences 27
Appendix B
Thesis Proposal Models - Science and Engineering 37
The contribution of Henrike Korner and Helen Drury to earlier versions of this
publication is gratefully acknowledged.
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Objectives
After you have worked through these materials, you should be able to:
s Focus your thesis topic
s Understand the purpose of the thesis proposal
s Understand the general structure of a thesis proposal
s Understand the purpose and structure of the introduction of a thesis
proposal
s Be clear abot how to formulate research questions, aims, objectives.
Some sections have exercises for you to complete. Some of these exercises
provide an answer key marked with the symbol

(1) Introduction
There is no one "definitive" way to chose a research topic and to get it accepted.
In fact, there are probably as many ways as there are departments in a university.
Some departments require a proposal, others don't. Some departments require a
detailed proposal, others are satisfied with a general preliminary outline. Some
departments require students to present their proposals at a research seminar,
others circulate proposals among staff and often a student will have an interview
with a potential supervisor. Despite this variety of procedures, there are still some
general issues that all students should consider before they start their research,
even if they don't have to write a proposal at all.
1.1 Different Degrees - Different Theses
A thesis is usually required from students who do Honours, Masters and PhD
degrees. At the Honours level, the thesis is one part of the overall degree, at the
Master or other Doctoral level it can be one part of the degree in conjunction
with coursework or the whole degree, and at the PhD level, the thesis constitutes
the sole requirements of the degree.
Length, scope, depth and originality of the thesis depend on the degree which it is
for. The following table presents an overview of the general expectations of a
thesis at Honours, Masters and PhD level.
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HONOURS MASTERS
MINOR THESIS
MASTERS
MAJOR THESIS
PHD
D
E
F
I
N
I
T
I
O
N
A substantial project
which demonstrates
an understanding of
the research process
and scholarly
conventions of the
discipline.
An ordered, critical
exposition of
knowledge gained
through students
own effort.
Demonstrates sound
under-standing of
research process.
Shows evidence of
advanced knowledge in a
specialist field.
Candidate has:
conducted a substantial
piece of research; has
been conceived
conducted and reported
by the candidate under
academic supervision in
an academic environment
for a prescribed period.
S
C
O
P
E
Similar to Masters
minor thesis.
Not necessarily new
line of enquiry or
contribution to
knowledge, but still
locates topic in
context of critical
review.
Demonstrates
knowledge of
appropriate
methodology.
Not necessarily new line
of enquiry, but shows
that student has mastered
research and synthesising
skills in producing a
contribution to
knowledge.
Similar to Masters Research
degree, but deeper, more
comprehensive treatment of
subject.
S
C
H
O
L
A
R
S
H
I
P
Demonstrates ability to
present study in a
disciplined way in
scholarly conventions of
the discipline.
Shows evidence of
independent
investigation and testing
of hypotheses.
Ability to make critical
use of published work.
Appreciation of
relationship of topic to
wider field of
knowledge.
Competence in
independent work.
Understanding of
approaches and
techniques appropriate
to research question.
Should draw
generalisations or
further hypotheses for
testing.
Demonstrates authority
in candidates field and
shows evidence of
knowledge in relevant
cognate field.
Mastery of appropriate
methodological
techniques and awareness
of limitations. Makes a
distinct contribution to
knowledge.
Originality of approach or
interpretation.
Ability to communicate
research findings
effectively in professional
and international
contexts.
Research apprenticeship is
complete and holder is
admitted to the
community of scholars in
the discipline.
L
E
N
G
T
H
Varies by
department; depends
on weighting against
coursework.
10,000 - 20,000 words,
depends on weighting
against coursework.
Varies by faculty; max.
50,000 words.
Max. 100,000 words.
(adapted from Powles, 1994:24-25)
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1.2 Differences According To Disciplines
There are also considerable differences between the sciences, the humanities and
the social sciences as far as students' range of topic choice, students' degree of
freedom in choosing specific research questions, and the overall timing of the
research project is concerned. The following table provides an overview of
disciplinary influences on topic selection.
SCIENCES HUMANITIES SOCIAL SCIENCES/
APPLIED
PROFESSIONAL
FIELDS
R
A
N
G
E
restricted range of choice;
suitable topics made available
by department according to
staff expertise, research
interest and research funding
students usually required to
initiate own topics; take into
account supervisors interests
and availability of data
wide range of practices: from
close direction of science
model to deliberate absence of
direction of the humanities
model
D
E
G
R
E
E

O
F
F
R
E
E
D
O
M
students may have more
freedom on deciding research
question, but often close
direction by supervisor
supervisor reluctant to
interfere in topic choice,
theoretical perspective,
method, specific research
question
topics and research questions
often derived from field of
students professional practice
G
U
I
D
A
N
C
E
/
T
I
M
I
N
G
research question decided
early; schedules, timelines,
deadlines are important
supervisor guides student in
understanding how the
chosen theoretical framework
is situated against existing
theoretical development in the
field or in related fields
identification of specific
research question may take
considerable time as students
require a good deal of
disciplinary and method-
ological grounding before they
are able to formulate specific
research questions
(adapted from Parry and Hayden, 1996:2-3)
Exercise
Think about the following questions:
s Into what disciplinary area does your research field fall? Can it be clearly
located in one area or does your research go across disciplines?
s Depending on the amount of preparation you have already done, what has
been your experience with regard to topic choice, degree of freedom and
guidance?
s If you are still very much at the beginning of your research, think about what
problems you might encounter and how you might deal with them.
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1.3 Is My Topic Feasible?
You may start with a rather vague idea of a research topic. It is then necessary to
assess how the topic can be narrowed down to potential sub-topics for more
thorough consideration. The following checklist contains one set of general
questions, and five sets of specific questions for specific types of topics. It is
recommended that you read all the questions in all sub-sections because the
questions may trigger ideas that you have not considered previously. Also, you will
not be able to answer all the questions at this stage. Rather, use them to guide
your thinking.
(a) Questions about the topic in general
(1) Is there current interest in this topic in your field or in a closely related
field?
(2) Is there a gap in knowledge that work on this topic could help to fill or
a controversy that it might help to resolve?
(3) Is it possible to focus on a small enough segment of the topic to make
a manageable thesis project?
(4) Can you envisage a way to study the topic that will allow conclusions to
be drawn with substantial objectivity. Is the data collection approach
(i.e. test, questionnaire, interview) acceptable in your school?
(5) Is there a body of literature available relevant to the topic? Is a search
manageable?
(6) Are there large problems (i.e. logistic, attitudinal) to be surmounted in
working in this topic? Do you have the means to handle them?
(7) Does the topic relate reasonably well to others done in your
department? If not, do you have any information about its
acceptability?
(8) Would financial assistance be required? If yes, is it available?
(9) Are the needed data easily accessible? Will you have control of the
data?
(10) Do you have a clear statement of the purpose, scope, objectives,
procedures, and limitations of the study? Do you have a tentative table
of contents? Are any of the skills called on by the study skills that you
have yet to acquire?
(b) Questions for topics employing a research question or
hypothesis
(1) Do you have acceptable statements of research questions or
hypotheses?
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(2) Can you specify how you will answer the questions or test the
hypotheses?
(3) Would the thesis be a contribution if the findings do not support the
hypotheses or fail to answer the questions?
(4) Have subsidiary questions or hypotheses been identified that deserve
study along with the major ones?
(5) Are there alternative questions or hypotheses that might explain the
findings anticipated?
(c) Questions for topics requiring interviews for data collection
(1) What style or type of interview is best suited to the objectives of the
study?
(2) Does an interview protocol exist that fits the purposes of the
investigation? Has it been pilot tested?
(3) How will the data be recorded and collated for optimum speed,
accuracy, and reliability?
(4) How will matters of confidentiality and permission be handled?
(5) How will bias in the interviewer and the respondent be minimised or
measured?
(d) Questions for topics using a questionnaire approach
(1) What form of questionnaire will be most productive for this kind of
study? Has it been tested?
(2) How will questionnaire items be related specifically to the purpose of
the investigation?
(3) Why is the questionnaire the tool of choice for data collection?
(4) How will it be assured that the questionnaire will be answered?
(5) How will the questionnaire responses be validated? Analysed?
(e) Questions for topics involving mathematical analysis of data
(1) What quantitative analyses are planned? What will they produce?
(2) Are the quantitative analyses appropriate to the kinds of data collected?
(3) What level of confidence will be accepted as significant? Why?
(4) Are there computer programs that will save time, energy, and money?
Are they available?
(5) What rational and subjective interpretation will be needed to be given to
the statistical findings to make them meaningful?
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(f) Questions for topics making use of existing data from other
sources
(1) Are the data relevant? Reliable? Valid? Complete?
(2) Are there limitations on the present or future availability or utilisation
of the data?
(3) Why is it better to use these data than to collect one's own afresh?
(4) What additional data need to be collected? What and why?
(5) What obligations to the other sources go along with publication based
on these data?
(g) Questions for topics involving tests and testing in data
gathering
(1) Are the tests the most valid and reliable obtainable?
(2) Do the tests discriminate against significant groups in the sample?
(3) Do the tests provide direct measures of the key variables in the study?
(4) How will confidentiality be preserved?
(5) What interpretations will be needed to make the test results meaningful
in relation of the purpose of the investigation?
(adapted fromMauch and Birch, 1989:47-49)
From these questions we can extract a number of issues that are relevant to most
research topics:
s Solution to some problem
s Importance of "how"
s Justification of "how"
s Objectivity vs. bias
s Importance of interpretation
In addition to these, when your research deals with human beings or with sensitive
material:
s Confidentiality
The answers to these questions are by no means easy, and some questions may
even seem unanswerable at this early stage of your research. But keeping these
questions in mind and trying to think of an answer will force you to refine and
polish your topic until the project becomes acceptable and manageable.
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Exercise
Think about the following:
(1) Which of these questions and issues are relevant to your research?
(2) What further questions and issues do you think may be relevant for your
research?
(3) Can you think of any preliminary answers how you might deal with these
questions?
1.4 Focusing The Topic
Exercise
The following represents three consecutive drafts of a thesis outline. In which
order do you think these drafts were written? Which draft do you think found the
supervisor's approval and why?
Outline A
(1) The conflicting ambitions of the two great power rivals, the Soviet Union
and Great Britain in Iran from 1921 to 1941.
(a) The concept of rivalry
(b) The area of influence in international relations
(2) International events as external elements of rivalry in Iran
(3) Internal decisive elements which made the two great power rivals interested
in competing against each other in areas such as oil and security belt.
Outline B
(1) Great Powers - USSR and GB - perception and nature of interests in the
Middle East, especially in Iran, from 1921 to 1941.
(a) perception of each other
(b) nature of their rivalry
(2) Middle powers as pawns in a geopolitical area which involves great power
rivalry
(3) How such rivalry impacts upon the internal and external policies of Iran.
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Outline C
(1) Types of Iranian foreign policy vis-a-vis outside rival powers since nineteenth
century:
(a) Membership of an alliance
(b) Establishment of acknowledged sphere of influence
(c) Neutrality
(d) Balance of power
(e) Collective security
(2) Domestic spheres of the time and policies adopted
(a) Socio-cultural
(b) Economic - military
(c) Political
(3) International and regional systems of the times
(4) Discussion of the relevance and coherence between the respective spheres
and the different policies together with evaluation of the efficacy in
maintaining the Iranian integrity and independence.
(c) was the first draft. The topic is far too broad and general, and
the proposal is purely descriptive.
(a) was the second draft. The topic has become more focused and
there is now an interpretive element, rivalry; but still, the
argument is not very clear.
(b) was the final draft and the supervisor was happy with it. The
focus has become even stronger and a clear thesis has emerged:
The middle powers as pawns between the great powers.
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(2) What is a Thesis Proposal?
2.1 Purpose Of A Thesis Proposal
In the most general sense, a thesis proposal is "a document that presents a case for
an idea and theaction oneproposes with respect to it." (Krathwohl, 1988:12, emphasis
added)
Its purpose is "to justify what you plan to do in order to gain approval for it."
(Thornquist, 1986:3, emphasis added)
2.2 Why Write A Thesis Proposal?
s A thesis proposal lays the groundwork for the research you're planning to
do.
s Because it forces you to think through the whole project from beginning to
end, you will be able to anticipate problems that may occur during the course
of your study and to be prepared for them.
s If you have an idea where you're going it's easier to get there.
2.3 Requirements of a Proposal
In order to achieve its purpose, a thesis proposal must fulfil the following general
requirements:
Establish a context for your research and demonstrate the need for it
Show that your study will meet this need, and how it will meet this need, i.e.
the method you will use
More specifically, a research proposal should have the following elements:
s Introduction
Nature of the problem
Why the problem is important
How your research would contribute to the solution of the problem
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s Research question or hypothesis
For example, what is the relationship between two or more concepts,
variables, phenomena, things, events, etc. This should also include a
definition of terms. This section can also state subsidiary questions or sub-
hypotheses.

s A review of the relevant literature
This should not simply be a list of summaries with some comments added
on, but an integrated statement that explains why these studies or theories
are important to your research. (See what we said earlier about "present a
case" and "justify what you plan to do"!)
Note: TheLearningCentreoffers a special workshop Writinga LiteratureReview.
s A description of the procedure.
This can include:
- a description of the theoretical or conceptual framework
- sources of evidence and authority
- analytical technique and research design
- a timetable for completing the study.
s A trial table of contents
This has the following advantages:
- it shows the reader the dimensions of the research topic
- it provides the writer with a temporary organisational framework.
Bibliography
At this stage the bibliography does not need to be complete. Its purpose is to
give the supervisor an indication of the quality of sources available, and it
enables the supervisor to suggest additional sources that you may have
overlooked.
(adapted from Powles, 1994:23)
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3. Writing the Proposal
3.1 Audience
The proposal should be written for an intelligent, well-informed person, but one
who is not deeply involved in the particular problems you are addressing. (Mauch
and Birch, 1989:65)
3.2 Getting Started
The first step in preparing a research proposal is to prepare a rough draft. The
following questions, and any additional questions that may be relevant to your
study, can provide a framework for this.
Start by writing preliminary answers to these questions. At this stage, the answers
do not have to be, and cannot be, complete. This is merely a means to get you
over the first hurdle.
(1) What is the tentative title?
The emphasis here is on "tentative". The title will change as your research
progresses.
(2) Why do you want to do this research? What do you think you will be able to
say when your research is complete?
(3) What steps will you have to take to accomplish what you want to do? Can you
put these steps into a sequential order?
(4) What facilities will you need?
(5) What kind of help from other people will you need?
(6) What kind of permission will you need?
(adapted from Mauch and Birch, 1989:57-58)
If your research involves human being or animals, your research will need to be
approved by the relevant Ethics Committee. Some general information is
available from the University of Sydney website at
http:/ / www.usyd.edu.au/ ethics/ (This is general information only. You will need
to contact the Ethics Committee yourself and obtain any clearance and
permission that may be required.)
While the answers to these questions are still rather rough and tentative, you
should take some time to edit this preliminary outline once or twice so that it
becomes a cohesive text, not simply a string of answers. Also, while the content of
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this draft is still quite informal, the proposal should be written in an acceptable
formal academic style.
It is also a good idea to consult university and departmental guidelines about
formal requirements and editorial matters at this early stage of your research.
This will save you much time later. The most comprehensive and authoritative
guide for the Australian context is the StyleManual for Authors, Editors and Printers,
Canberra: Australian Government Printing Service.
Note: TheLearningCentreoffers workshops on Clearer Writing and Writingin an
AcademicStyle.
3.3 Structure Of The Proposal
Of the proposals examined for these materials, there were not two that followed
the same structure. But all were considered to be good proposals by the
respective supervisors, and all were successful. Below is an overview of the
structure of four proposals from four different disciplines.
Proposal Headings:
Biology
(PhD)
Anthropology
(PhD)
Polit. Science
(PhD)
Education
(MEd)
Aim:
1. to describe
2. to test theory ...
An introduction
showing why the
research is important
and what the gaps in
existing research are.
Problem 1. The problem
1.1 Background
1.2 Introduction
1.3 Purpose of study
1.4 Hypotheses
1.5 Definitions
1.6 Delimitations
0000and limitations
Background Literature review
(short)
Subproblems
(7 questions)
2. Theoretical
framework and lit.
review
2.1 .....
2.2 .....
Additional questions Method Hypotheses (4) 3. Methodology
3.1 .....
3.2 .....
Theory Map Delimitations 4. Application of
findings
Timetable Bibliography Definitions of terms 5. Conclusion
Methodology References
Basic reading list
Length: 6 pages Proposal: 8 pages
Bibliography: 19 pages
Length: 9 pages Length: 19 pages
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(4) The Introduction
No matter what heading you choose for the introductory section of your
proposal, it should, in the most general sense, do two things for the reader:
s It should provide a "map" of what is ahead
s It should make the reader want to find out more about your research.
More specifically the introductory section to a thesis proposal should tell the
reader something about the following:
s What is the study about?
s Why is it important?
s What is the problem, question, hypothesis, theory to be tested, etc.?
s What is some of the most important relevant work done in this area?
s What further research is needed in this area?
s What can be the usefulness of your study?
(adapted from Mauch and Birch, 1989:65 and Thornquist, 1986:6-7)
In terms of sequencing this information, a move from the general to the specific
would be appropriate in many cases. The following questions can serve as a
guideline:
QUESTION PURPOSE OF INFORMATION
What is the topic? Orientate the reader by giving some general
background to the topic
Why is the topic important? Justify your research by explaining to the reader
why this is an important area of research
What do we know about the topic in
general?*
Provide the reader with a context for your research
by giving a brief summary of past research
What are some gaps or weaknesses in our
knowledge about the topic?*
Justify your research by showing gaps, weaknesses,
etc.
What are you going to do about these
gaps?**
Give the reader a general statement about the
purpose of your research
The questions marked * can be developed in more detail in a literature review.
The question marked ** can be developed in more detail in a section that states
your research questions, aims, objective, hypotheses etc.
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Exercise
Examine the following introduction to the proposal Determination of RangeCarrying
Activity.
What information does it provide for the reader?
What information is missing?
What could be improved?
Determination of rangecarryingcapacity is oneof themost fundamental aspects of range
management. Several methods areused dependingon therequired precision and availablefunds,
timeand manpower. Although theclippingand weighingmethod for rangecarryingcapacity
determination is themost accurate, its high cost and timeconsumption limits its wider usage. So
it is worthwhileto usea faster method with an acceptablelevel of accuracy for larger rangelands.
Determination of rangeland production by measuringvegetation cover is such a method. Payne
(1974) showed that vegetation cover determination is a good indicator of theweight of many
grasses. I havestudies therelationship between canopy cover, foliagecover and basal area with
rangeplant production for 13 species. Thehighest correlation coefficient was observed between
thecanopy cover, foliagecover and plant production for all species. No significant correlation
was found between basal cover and plant production. Sincebasal cover will beaffected less than
canopy cover by grazingor by short termwether changes and sometimes it is not practical to
prevent grazingfor determination of rangecarryingcapacity, it is worthwhileto study the
application to basal cover for estimation of rangeproduction. ThereforeI aminterested in
followingthis lineof research.
AIMS:
(1) to study therelationship between basal cover and plant production by inclusion of
plant height in themethod
(2) to fund out therelationship between canopy cover and foliagecover and range
production in other species not mentioned in my previous study and comparethis
method and theclippingand weighingmethod in terms of costs, timinglabour, and
expertiserequired.
There is some information about the importance of the research,
and the writer describes his own work in this area, however, the
reader would probably like a better overview of some of the
relevant research in this area.
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An Alternative Introduction
Exercise
The writer of the following introduction used a different criterion to organise the
information in the introduction. What criterion did the writer use?
Policy Evauation on RetainingBoarding/ LodgingHouses for theAccommodation of Low
IncomeAged Peoplein Waverley Municipality
(1) Problem
Thechanginguseof Boarding/ LodgingHouses (B/ LH) fromhousingfor lowincomeaged
peopleto other uses, mainly tourist budget accommodation, has affected thehousingstock
availableto lowincomepeoplein Sydney. Thegovernment realises thenegativeimpacts of this
process, such as homelessness, youth crime, and other social problems. Much of thegovernment's
effort has been directed towards theprovision of lowincomeaccommodation, either directly or
indirectly, but thestock of lowincomeaccommodation is tendingto decline. Onegovernment
policy to counteract this trend is to retain thefunction of theB/ LH for theaccommodation of
low-incomeaged peopleby usingSEPP 10 fromtheStateGovernment and through Local
Government LEPs. Nevertheless, in Waverley municipality for example, thesepolicies havenot
worked as expected, as seen in thereluctanceof theB/ LH owners to maintain their properties
and continuingchangein theusageof theseproperties.
The writer states a general problem, then states a solution which
has been unsuccessful Much of thegovernments effort ... One
government policy to counteract this trend.... Then the writer re-states
the problem and provides a specific example: Nevertheless, in
Waverly municipality
Exercise
Try and draft a general introduction (one or two paragraphs) to your research.
What criterion are you going to use to organise the information in your
introduction?
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(5) Making the Purpose Clear
The general purpose of the study can be stated at the end of the introduction. See
the example below:
An Investigation of SomeAspects of ScienceEducation CognitiveStructureResearch in a
Tertiary Physics Education Context
Background
TV lectures havebeen used for someyears in thefirst year physics courseat theUniversity of
Sydney. Many of theseTV lectures havebeen revised and redeveloped. Fivenewlectures on
Electricity haverecently been produced by theVeterinary, Medical, Agricultural and Life
Sciencestudents. TheSchool of Physics has decided it is an appropriatetimeto reviewthis
teachingstructure. It has convened a workingparty comprisingof two physicists, Director of
Television Services, and myself to adviseit on futuredevelopment and useof TV lectures. It has
been decided to usethedevelopment and implementation of theElectricity series of lectures as a
casestudy for thereview.
Thetopic, Electricity, comprises fiveTV lectures, threelivelectures and a set of lecturenotes.
TheTV lectures includea number of demonstrations, graphics etc. Thelivelectures summarise,
go over difficult points and work through someproblems associated with thelecturematerial.
Thelecturenotes includea set of objectives, somepre-lecturereadingsummary and in somecases
further amplification of theTV lectures, somepost-lecturereadingincludingmathematical
proofs etc. and someproblems for thestudents to work through. Thereis no set text or
recommended list of references for thecourse.
Theaimof thepresent reviewis to providetheSchool with information and views
appropriateto assistingit determineits immediatepolicy on thefuturedevelopment or
redevelopment of TV lectures. In particular thereviewwill
(1) describetheproduction process and subsequent useof theTV lectures
(2) collect views of thevarious participants on thedevelopment and useof theTV lectures
(3) examinetheuseof theTV lectures in thecontext of thecoursein general.
But quite often the purpose is shown more clearly in a separate section (see figure
"Proposal Headings").
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The purpose of a study can be expressed in three ways:
s as aims and objectives
s as research questions
s as hypotheses
or a combination of these.
5.1 Aims And Objectives
Example 1
The purpose of this study is to investigate the relationship between
foreign/ second language learners' knowledge of vocabulary and their
comprehension in reading formal prose such as that exemplified by secondary and
tertiary level textbooks and journals. A further subsidiary aim is to investigate the
relationship between scores on vocabulary tests composed of a random selection
of contents items deleted from the cloze tests and scores on the standardised
vocabulary test, using the same subjects.
Example 2
This research proposes to evaluate the group influence in China's decision making
in the case of the vibrations in China's macroeconomic policies between
decentralisation and centralisation in economic planning and management to and
from local authorities and economic entities during the course of implementation
in the decade of the 1980s.
Example 3
My research has two aims: firstly to describe the life history of a newly discovered
diverse fauna living in mangrove swamps around the Sydney district; and secondly
to test ecological theories on settlement and recruitment which have been
formulated to explain patterns of distribution and abundance on species living on
rocky intertidal shores.
Example 4
The objectives of this research are as follows:
(1) to conduct the mid-term evaluation of the sixth educational development plan
(2) to examine the influence of various variables on educational policy
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5.2 Research Questions
Example 1
(1) Why can an interest group approach to politics be applied to the study of
socialist and Chinese politics?
(2) What do we mean by "interest", "group", and "interest group"?
(3) How could Chines elite interest groups be identified?
(4) What factors gave rise to the formation of Chinese elite interest groups and
how did they recruit members?
(5) What were the respective interests of the identified groups?
(6) In terms of power politics, i.e. disputes over personal power allocation and
policy disputes respectively, what were the major issues at stake during the
conflict of different interest groups?
(7) How die the interest groups act to defend or advance their interests, that is,
what were the modes of interaction between interest groups and decision-
makers and with what success?
Example 2
The study will comprise two inter-related sets of research questions. The first set
relates to the decision-oriented part and the second set to the conclusion oriented
parts of the study. The research questions and the research itself should be seen
as arising out of, and contributing to, the discussion of curriculum issues in
science education. The major questions posed for the decision-oriented research
are:
(1) What techniques are appropriate for investigating and representing cognitive
and conceptual structures in the context of decisions to be made about the
redevelopment of a unit of work in large enrolment introductory tertiary
physics courses?
(2) What is the range of conceptual and cognitive structures impacting on and as
a result of studying a unit of work in a large enrolment introductory tertiary
physics course?
(3) How were the results of (1) and (2) above taken account of by the Review
Committee reviewing the unit of work?
5.3 Hypotheses
The word "hypothesis" means "supposition" or "possible explanation" for a
particular situation or condition. A hypothesis can be defined as "a shrewd guess,
an assumption, an opinion, a hunch, an informed judgment, or an inference that is
21
provisionally adopted to explain facts or conditions or to guide how one starts to
attack a problem" (Mauch and Birch, 1989:69)
In a research context, a hypothesis can also be a suggested solution to a problem.
By suggesting a possible solution to a problem, research can take a certain
direction, otherwise much time can be wasted in an investigation without
direction. It will affect the kind of data to be collected and the method analysis of
the data.
Example
(i) Students who score highly on the vocabulary tests are more likely to score
likewise on the comprehension tests (cloze tests and reading comprehension
texts).
(ii) Students are more likely to perform better on the multiple-choice reading test
than on the cloze tests, given that lack of active vocabulary will more seriously
affect performance on the cloze texts.
(iii) It is expected that scores on multiple-choice reading comprehension tests will
be higher than on the cloze tests, and it follows that there will be a stronger
correlation between multiple-choice reading comprehension tests and the
standardised vocabulary test.
Hypotheses are more usual in but not limited to, experimental research. In non-
experimental research, the hypothesis may not always be stated explicitly, but it
can be implied. For example:
Statement of theProblem
The purpose of this study is to investigate the prevailing practices of selected
school districts and municipalities in the United States with regard to continuous
residency requirements for public school employees.
(Michaels, 1979, cited in Mauch and Birch, 1989:67)
The implied hypothesis here is that there is in fact a residency requirement.
5.4 Expressing the Purpose at Several Levels
It is also possible to move in the statement of your purpose from a general
statement of aims to specific research questions and hypotheses.
Statement of theProblem
This research proposes to evaluate the group influence in China's decision making
in the case of the vibrations in China's macroeconomic policies between
22
decentralisation and centralisation in economic planning and management to and
from local authorities and economic entities during the course of implementation
in the decade of the 1980s.
TheSubproblems
(1) Why can an interest group approach to politics be applied to the study of
(2) What do we mean by "interest", "group", and "interest group"?
(3) How could Chinese elite interest groups be identified?
(4) What factors gave rise to the formation of Chinese elite interest groups and
(5) What were the respective interests of the identified groups?
(6) In terms of power politics, i.e. disputes over personal power allocation and
(7) How did the interest groups act to defend or advance their interests, that is,
Hypotheses:
(1) Although in a communist political system, decision making in its final stage still
remains in the hands of a relatively small group of leaders at the highest level
of the party hierarchy, there has been participation of political interest groups
in the crucial preliminary stages of policy deliberation and in the subsequent
phase of implementation. Interest groups seldom possess constitutional or
even practical sanctions to enforce their views on the topmost leaders, they
may interpose their own viewpoints, presenting alternative policies for
consideration, and endorsing, criticising, or sometimes resisting, the
implementation of policies already resolved on. In other words, the
communist system is a kind of imperfect monism in which, of the elements
entailed, the topmost leaders are more powerful than all others but are not
omnipotent. .....
(2) .....
Exercise
Try to draft a statement of purpose for your own research.
23
(6) Bringing it all Together
Exercise
We have included some examples of thesis proposals in the Appendix. Read
through them and think about those aspects of a proposal that we have discussed
so far. How are the proposals similar/ different? What are their strengths and
weaknesses? How could they be improved?
24
(7) Evaluation of the Proposal
The following list shows the criteria that committees and examiners look for in
proposals and finished theses. It would be useful to keep those criteria in mind as
you are writing your proposal and your thesis to focus on the relevant criteria.
(The items marked * are used to evaluate the final thesis, not proposals.)
Characteristics Being Evaluated
(1) Title is clear and concise.
(2) Problem is significant and clearly stated.
(3) Limitations and delimitations of the study are stated.
(4) Delimitations are well defined and appropriate to solutions of the problem.
(5) Assumptions are clearly stated.
(6) Assumptions are tenable.
(7) The research projected by the proposal does not violate human rights or
confidence.
(8) Important items are well defined.
(9) Specific questions to be studied are clearly stated.
(10) Hypotheses, elements, or research questions are clearly stated.
(11) Hypotheses, elements, or research questions are testable, discoverable or
answerable.
(12) Hypotheses, elements, or research questions derive from the review of the
literature.
(13) Relationship of study to previous research is clear.
(14) Review of literature is efficiently summarised.
(15) Procedures are described in detail.
(16) Procedures are appropriate for the solution of the problem.
(17) Population and sample are clearly described.
(18) Method of sampling is appropriate.
(19) Variables have been controlled.
(20) Data gathering methods are described.
(21) Data gathering methods are appropriate to solution of the problem.
(22) Validity and reliability of data gathering are explained.
(23) Appropriate methods are used to analyse data.
25
(24) Sentence structure and punctuation are correct.
(25) Minimum of typographical errors.
(26) Spelling and grammar are correct.
(27) Material is clearly written.
(28) Tone is unbiased and impartial.
(29) Overall rating of creativity and significance of the problem.
(30)* Tables and figures are used effectively.
(31)* Results of analysis are presented clearly.
(32)* Major findings are discussed clearly and related to previous research.
(33)* Importance of findings is explained.
(34)* The relationship between the research and the findings is demonstrated
with tight, logical reasoning.
(35)* Conclusions are clearly stated.
(36)* Conclusions are based on the results.
(37)* Generalisations are confirmed.
(38)* Limitations and weaknesses of study are discussed.
(39)* Implications of findings for the field are discussed.
(40)* Suggestions for further research are cited.
(41)* Overall rating of the conduct of the study and the final document.
* Not evaluated in proposal but in finished thesis only.
(Mauch and Birch, 1989:91-93)
26
References
Krathwohl, D.R. (1988) (3rd ed.) Howto preparea research proposal. Guidelines for
fundingand dissertations in thesocial and behavioural sciences. Syracuse, New York:
Syracuse University Press.
Mauch, J.E. and Birch, J.W. (1989) (2nd ed.) Guideto thesuccessful thesis and
dissertation. New York: Marcel Dekker.
Parry, S. and Hayden, M. (1996) Therangeof practices in higher degreesupervision:
Disciplinary and organisational differences. Paper presented at the 11th Vice-
Chancellors Forum on Teaching. University of Sydney, 17 May 1996.
Powles, M. (1994) Postgraduatesupervision. Centre for the Study of Higher
Education. University of Melbourne, Parkville, Victoria.
Tornquist, E.M. (1986) Fromproposal to publication. An informal guideto writingabout
nursingresearch. Menlo Park, California: Addison-Wesley.
27
Appendix A
Thesis Proposals - Social Sciences
28
Proposal 1
Research Proposal to Study Traditional Medicine in Milne Bay Province
Focussing on Sewa Bay, Normanby Island, DEntrecasteaux
Abstract
I propose to do field work in Milne Bay Province. The focus of my research
interest is the DEntrecasteaux and, in particular, the comparative study of
traditional medicine with a focus on Sewa Bay, Normanby Island (see map). A
preliminary trip to the Province in December-January clarified my research
objective.
Normanby Island has significant gaps in its ethnographic record. Erhard von
Schlesier, Carl Thune and Daryl Feil have worked in East Normanby, but Sewa
Bay was last recorded briefly by Geza Roheim in 1930. Traditional medicine has
been given little attention. I view my research as essentially collaborative and
concerned with the cultural heritage. The aim is to secure a record which the
people will cherish.
I want my study to be comparative, involving other areas. I propose starting field
work for 12-15 month IN Sewa Bay later this year.
Research Methodology, Relevance and Timetable
...if the anthropologist is to retain his claim to some inside knowledge he must
continue to struggle with problems of language expression and symbolism. This is,
of course, a prime field to be taken over eventually by indigenous scholars, but
the outside worker can make his contribution still, and use the opportunity to test
his explanatory models against his views of the educated insider
Andrew Strahern (1)
...discussions of medicine in Papua New Guinea are most often and obtrusively
couched in a different form - that of dualism or pluralism. The contrast, and
opposition, is presented as one between Western medicine and the local system ...
It is extremely easy to fall into this dualistic way of thinking; but it is misleading.
The convenience of thinking in terms of simple dichotomies is always a
temptation. It seems to clarify issues, but the simplification distorts them. It is
misleading to speak of system when referring to local modes of treatment for
the sick. The local forms are not usually formulated as a unified system of theory,
practice and medical institutions
29
Stephen Frankel & Gilbert Lewis (2)
In her 1984 review of the study of ethnomedicine in Papua New Guinea, Carol
Jenkins wrote: ... next to nothingis known empirically about themedical botany of Papua
NewGuinea. Even less is known about thefull diagnosticand treatment regimes available
traditionally (1984:3; my emphasis). Donald Denoon quotes Jenkins at the start of
his recent historical study of Public Health in PNG, but makes little reference to
traditional medicine again. The reason for this is not hard to find: scientific
medicine (like the colonialists themselves) was kept completely separate -
indigenous medicine was given no official encouragement, and there was relatively
little curiosity about it. Yet, it is of interest to note that Miklucho-Maclay
published a long list of plants used by people of the Maclay Coast in 1886 (1886).
In the 1981 Milne Bay Development programme (Vol. 3, Background Papers) in
the chapter devoted to health, there is a section on traditional medicine. It is
recognised that traditional medicine is significant and that many people rely on
traditional practitioners. Three specific research problems are identified. First,
why do people who have access to an Aid Post persist with traditional medicine?
Secondly, what types of traditional treatment might be included or incorporated
into the health services? And, thirdly, it is suggested a study be undertaken to
identify traditional practitioners whom (sic), it is implied, might also be
incorporated into the health services (1981:132). There has been some research
on traditional herbs and plants based in the schools; but the three main questions
have still to be answered by field research.
The subject of whether traditional medical practitioners should be incorporated
into the health service was put forward for debate in the Provincial Government
in 1986. The motion was approved, but not debated. There is little doubt that
more research into traditional medicine would assist any policy decision in the
matter. And it is here that the anthropologist has a role.
About two-thirds of the world rely on traditional medicine. The WHO has
recognised that if it is serious about getting Health for all by the year 2000 then
it must take seriously that knowledge and practices of traditional practitioners.
Only a few countries have taken legislative action to promote traditional medicine.
These include India and Sri Lanka. While China has a comprehensive support for
the system (sic). The British National Health has shown some flexibility and
tolerance, but the French have completely outlawed any form of folk or
alternative medicine. The colonial legacy left Papua New Guinea close to the
French model: Western medicine along, until recently, has had official sanction.
But this is now changing. The National Health Plan 1986-1990 has sought the
collaboration of the scientific and traditional healing systems.
30
Traditional medicine, like traditional religion, has been actively suppressed in
PNG. Knowledge concerning the use of traditional plant medicines is being lost
(Stopp 1963; Holdsworth 1975; Wesche 1987:72). It has been professionally
ignored so that it remains incomprehensible. Charles Leslie has observed that the
education of Western health professionals makes for an occupational perspective
that distorts their comprehension of other systems. The education involves a kind
of trained incapacity (Veblens term): that is the incapacity among specialists in
Health Care to observe even-handedly traditional health concepts and practices
(1983:314-15). This problem can never be underestimated and is applicable to the
training of health professionals in PNG as elsewhere. Yet, as David Wesche
points out: Research on traditional plant medicines and their use is a vital step
towards providing knowledge which will strengthen health practices and extend
support and services to people in a culturally appropriate way (1987:77).
Short Literature Review
Norman-Taylor (1963, and subsequently), Hornabrook & Skeldon (1977, and
subsequently), Jilek (1985), Stratigo & Hughes (1987), Denoon (1989), Frankel &
Lewis (1989), and Burton-Bradley (1990) provide useful bibliographical material
on ethnomedicine in PNG. Michael Young in his study on childrens illness and
adult ideology on Goodenough (1981, 1989) has pointed the way for significant
research in health care in Milne Bay (Denoon 1989:90-91). And Ruta Siniva
Sinclair (1987) underlines the important changes in perspective which
anthropologists have adopted when they have approached the analysis and
description of traditional medicine in PNG over the last forty years. Some of the
pitfalls are clearly set out in the essays edited by Frankel & Lewis (1989). And
these traps and pitfalls must be relevant to the study of belief and practice in
Milne Bay. Importantly, how, and in what ways, are Western (Dimdim) and
traditional medicine perceived as two separate systems or as one integrated system
- what is the nature of the medical pluralism?
Research problems relating to traditional medicine are as thorny as any in
anthropological research. But some of the key questions are, on the surface
anyway, quite straight forward. For example, for what illnesses do people always
resort to traditional practitioners; and what is the (scientific) effectiveness of
particular traditional herbs? While there is much anecdotal support for the
therapeutic success of herbal medicine, there is still little hard evidence of its
efficacy (Aitken 1985; Wesche 1987). Cecil Hellman provides useful Clinical
Questionnaires as a research guideline (1984:194-201).
In brief, along with surveys, questionnaires, and participant observation, I propose
to document the lives of traditional medical practitioners. This will be done by
extensive interviews. By taking a life history approach to the subject, I hope to
offset part of the resistance I anticipate meeting in trying to record secret
31
knowledge. After initial fieldwork in Sewa Bay, which will last 12-15 months, I
propose to document the knowledge of traditional medical practitioners elsewhere
in Milne Bay so that I will be able to make a comparative study. With local
research assistants acting as interpreters, I want to work in at least four places
with contrasting flora (but time will be a determining factor here). I would like to
compare the traditional medicine of the Mainland (near Alotau) with the coral
islands (the Trobriands), the DEntrecasteaux, and the Lousiades.
The study of traditional medicine will benefit the people by helping to secure and
record the cultural heritage. I see my research as essentially collaborative. And, I
trust my work will add to a small, but significant number of studies of Papua New
Guinea traditional medicine (e.g. Lewis, Frankel, Mayer).
Notes
I am particularly grateful to John Beaumont, Ann Chowning, Debbora Barraglia,
Richard Dawana, Linus Digimrima, Brent Ingram, John Kabual, Jerry Leach,
Andrew Strathern, Carl Thune, and especially Michael Young and Darly Feil for
help over this proposed research.
(1) From The future of research in Melanesia (1975), p.30-31
(2) From Patterns of Continuity and Change in Frankel & Lewis (1989) p.32
MAP
(details omitted)
Bibliography
(18 pages)
32
Proposal 2
RESEARCH OUTLINE FOR THE PhD. DEGREE
(POLITICAL SCIENCE)
(NO TITLE)
THE PROBLEM AND ITS SETTING
The Statement of the Problem
This research proposes to evaluate the group influence in Chinas decision making
in the case of the vibrations in Chinas macroeconomic policies between
decentralisation and centralisation in economic planning and management of and
form local authorities and economic entities during the course of implementation
in the decade of 1980s.
The Subproblems
1. Why an interest group approach to politics can be applied to the study of
2. What do we mean by interest, group and interest group?
3. How Chine elite interest groups could be identified?
4. What factors gave rise to the formation of Chine elite interest groups and
5. What were the respective interests of the identified groups?
6. In terms of power politics, i.e. disputes over personal power allocation, and
7. How did the interest groups act to defend or advance their interests, that is,
Hypotheses
1. Although in communist political system, decision-making in its final stage still
remains in the hands of a relatively small group of leaders at the highest level
of the party hierarchy, there has been participation of political interest
groups in the crucial preliminary stages of policy deliberation and in the
subsequent phase of implementation. Interest groups seldom possess
constitutional or even practical sanctions to enforce their views on the
topmost leaders, they may interpose their own viewpoints, presenting
33
alternative policies for consideration, and endorsing, criticising, or sometimes
resisting, the implementation of policies already resolved on. In other words,
communist political system is a kind of imperfect monism in which, of the
many elements entailed, the topmost leaders are more powerful than all
others but are not omnipotent.
Chinese policy-making process may thus be regarded as one in which
interaction among participants at different levels of the political structure
generates a conflict of dominant tendencies of articulation, through which
alternate lines of policy are identified, authoritatively decided, and
implemented with regard to specific values. Fluctuations in value allocations
or in the policy line may be seen as shifts in the relative influence of
conflicting tendencies in response to changing domestic and external
circumstances.
2. Group processes take place in Chinese politics in way of loose and informal
coalitions of elites and intermediate actors. Interest groups in communist
systems should not be mistaken for their counterparts in the Western
societies. They do not stem from organised interest among the people at
large. They are rather subsystems within an almost ubiquitous governmental
administration. They can advance the interest of their members only when
they act in ways that do not threaten the Communist part hegemony. They
do not officially lobby the party on behalf of their special interests and they
do not explicitly criticise or assail current policies. Their effectiveness has
rested, to a certain extent, on the support of national top elites.
3. Mobilisation to fulfil the tasks of modernisation in china has necessitate a
greater effort to encourage some sort of creative initiative and rational
planning rather than merely the enforced compliance and coerced
enthusiasm from the intermediate actors. Lack of consensus about the
means of modernisation at the leadership level has been another essential
pre-condition for the growth of intermediate participation and of interest
groups. Within the limits of an ambivalent party line, articulations by
intermediate actors have been permitted or even been sponsored.
4. In communist political systems, government agencies often not merely
decide on public policy, but also serve as the main source of inputs for
policy, too. Units of government administration are, therefore, included as
groups in the analysis.
The Delimitations
This study will only attempt to study the behaviour of Chinese bureaucratic
interest groups. We exclude mass societal organisations from different
consideration here because they have less effective means to express their
interests and to press those responsible for policy making to place their demands
34
on the public and formal agendas for consideration. They are designed reather to
transmit the partys conception of national interest.
Aside from this, the bureaucratic agencies act as the exclusive interest aggregators
in Chinese society. It is only bureaucratic elites, or cadres, who can mobilise
substantial political resources to back demands and convert demands into policy
alternatives. Moreover, the positions of bureaucratic elites legitimise the handling
of controversial issues and provide them sore sort of protection against the
possibility of exclusion from the political process. Demands espoused by
bureaucratic groups are therefore especially powerful in authoritarian societies.
Bureaucratic articulation of interests is the primary means for presenting demands
to the centre of power. Cadres for the most active and salient political interest
groups in China.
The study will also be limited to the change in foreign trade policy. Chinas foreign
trade is an area in which nearly all salient interest groups consciously attempt to
engage and about which information is easier to obtain.
Assumption
The attitudes of an individual member of a social or occupational groups (sic) are
not always determined by his belonging to that aggregates. Hence within an
occupational group there may be members of different interest groups.
Definition of Terms
An interest can be defined as a conscious desire to have public policy, or the
authoritative allocation of values, move or continue to move in a particular
general or special direction.
Basically, group can be distinguished between on the one hand categoric group
i.e. a set of individuals who have some characteristics in common and on the
other hand social group, which develops some common attitudes based on a
minimum frequency of interaction and from which arises certain common habits
of response.
An interest group is any group that, on the basis of the shared attitudes and the
behaviourally revealed preference on the matter of concern, makes certain claims
on other groups in the society for the establishment, maintenance, or
enhancement of forms of behaviour corresponding to the shared attitudes and
the preference. A political interest group is present when the expression of these
interests lead to the making of claims on government institutions. it is only when a
common attitude leads to an expressed common claims on those in authority for
action that a political interest group may be said to exist.
35
A political articulation may be regarded as an act of communication in which an
expectation about the authoritative allocation of a value or set of values is
conveyed by one political participant to another.
A mass of common articulations which persists over time may be regarded as a
tendency of articulation.
Interest aggregation consists of the processes that combine demands into policy
alternatives and mobilises political resources behind policy alternatives. Demands
become major policy alternatives when they are backed by substantial political
resources.
The concepts of interest articulation and interest aggregation is similar in meaning
to the concept of agenda building, which can be defined as the process by which
demands of various groups in the population are translated into items vying for
the serious attention of ultimate decision makers.
There are two types of agendas: the public agenda consists of all issues which
have achieved a high level of public interest and visibility by being printed in
publications which have been approved by the censor: the formal agenda in the
list of items which decision makers have formally accepted for serious discussion.
Intermediateactors are referred to the party and government officials and
professional personnel who receive special training and enjoy a higher social and
economic status than the mass of the population. They belong to the elite groups
in the regime. They do not, however, occupy leading positions in the Communist
Partys Central Committee or the State Council.
Methodology
As we regard Chinese interest groups as loose and information coalitions of elite
and intermediate actors, we shall not start by identifying social groups and then to
determine from their political views and interactions between them whether they
constitute a political interest group. We shall rather carry out the study in four
stages. In the first place, it is to determine the presence of uniformities in the
interest articulations in a given period or event. Second, it is to seek underlying
reasons for the occurrence of the observed converging expectations of policy.
The third stage will be concerned with subsystem interaction and its effects on the
relative influence of the policy alternatives. Finally, suitable variables, such as the
performance of the economic reforms and the preference of decision makers will
be cited to explicate the course of conflict.
Information is to be obtained through the following devices:
36
1. Content analysis of newspapers and other periodical literature dealing with
the issues in which interest groups were directly involved.
2. Informal discussions with informants from the fields of academics, business
and journalism in Hong Kong.
Basic Reading:
.....
37
Appendix B
Thesis Proposals - Science and Engineering
38
Proposal 1
Proposed Research Project. Presented for conversion to the degree of PhD
Ecology of Barnacles in Mangrove Swamps
in the Sydney District
My research has two aims: firstly to describe the life history of a newly discovered
diverse fauna living in mangrove swamps around the Sydney district; and secondly
to test ecological theories on settlement and recruitment which have been
formulated to explain patterns of distribution and abundance on species living on
rocky intertidal shores.
1. Life History
Barnacles in mangrove swamps have been little studies. Recently three species of
barnacles were found in N.S.W. mangrove swamps. Previous work has recorded
barnacles on particular substrata in the mangrove swamp, for example, Elminius
covertus on leaves and trunks of Avicenna marina, Hexaminius popeiana on trunks
exclusively and Hexaminius foliorumon leaves and saplings of the grey mangrove,
Avicennia marina.
Questions I initially formulated from this information are as follows:
1. What are the distribution and abundance patterns of the three species
throughout the year?
2. When does each species reproduce, settle and recruit into the reproductive
population?
Unlike the two dimensional rock platform, the mangrove tree supplies a tri-
dimensionality (from roots to leaves), so to answer question 1 it was necessary to
divide the mangrove swamp into three spatial components. These are:
Horizontal (tidal zones): seaward:middle:landward
Positional (on a mangrove tree relative the shore) seaward:landward
Vertical (height of the tree) upper/ lower surface at each height.
To enable a precise calculation of population density a stratified random sampling
program was designed and implemented. This means each substratum was
sampled separately.
39
This program has thus allowed for estimation of the variation that exists among
tree trunks, among twigs on trees, among leaves on trees and among saplings of
the grey mangrove, Avicennia marina.
The sampling program has been in progress sing August 1987 at two locations:
Wolooware and Careel Bay. It will be completed in February 1990.
These samples taken each season (and additional samples taken in months when
densities were not being sampled), have enabled an accurate estimation of when
the population is reproductive. Consecutive growth studies on plates in the field
(in progress since February 1988), have also given information on how long it
takes a barnacle to recruit into the reproductive population, throughout zones in
the mangrove forest.
Results of growth studies have highlighted density an important factor in
determining growth rate. An experiment to investigate this has been designed and
was implemented in January 1989.
Additionally, the following questions will be important to answer to fully
understand the life history of barnacles in mangrove swamps:
(1) Are cyprids selecting particular substrata to settle on, or settling at random,
and not surviving to adults?
To answer this rearing of cyprids in the laboratory and subsequent
settlement and growth will allow identification of newly settled stages.
(Completed for E. covertus by field work, in progress for H. popeiana and H.
forliorumDec/ Jan 1989).
(2) a. Can cyprids select young versus old leaves to settle on?
b. How long does a leaf containing barnacles last on a tree?
These questions are especially relevant when considering the ephemeral nature of
leaves. An experiment was set up in Dec. 1988 to answer these questions.
2. Ecological Theories
Most theories on intertidal ecology have been formulated from species on rocky
shores. When comparing mangrove swamps to rocky shores one interesting
question is: Are the same factors that affect patterns of distribution and
abundance of species on rocky shores responsible for observed patterns of
barnacles in mangrove swamps, which have reduced wave action, diverse
substrata, greater turbidity, and much more patchily spaced resources of hard
substrata?
40
The patten of vertical and horizontal distribution and abundance of species has
generally been understood as the result of differential mortality (physical and
biological), operating on a barnacle-covered substratum (i.e. post-settlement
processes).
Alternative explanations have been suggested. These focus on the importance of
pre-settlement (i.e. survival and transport of larvae), and settlement processes (i.e.
habitat selection), determining the distribution of patterns of adults, including
invertebrates and fish.
In the second part of my project I will evaluate the relative importance of larval
availability, settlement and post-settlement (i.e. recruitment factors, both physical
and biological), in determining adult distribution and abundance on diverse
substrata.
A bi-monthly quantification of recruitment has been in progress since October
1987 and will be completed in March 1989. The results have been analysed and
pose questions concerning settlement.
Settlement is defined as the moment a larvae (cyprid) attaches itself to the
substratum. It has generally been determined by daily counts (24 hours), however,
it is known barnacle mortality is greatest immediately following settlement, and it
is possible that death has occurred in the intervening hours after settlement,
before measurement. Thus, erroneous conclusions may be made on the
relationship between settlement and recruitment.
A program designed to quantify settlement every 12 hours (after one high tide),
has been in progress since July 1988. Initial results have been obtained and
analysed for E. covertus on trunks. My plans are to repeat this for H. popeiana and
H. foliorumon trunks and leaves.
Initial results of settlement and plans to investigate these patterns are as follows:
(1) Between zones: Settlement is greatest in the seaward zone and significantly
less in the landward zone.
Plans: To quantify larval availability by taking plankton samples throughout
the zones in the mangrove forest, in July 1989 and Jan. 1990.
(2) Within a zone: Settlement is not significantly different between heights or
surfaces.
41
Plans: To quantify mortality after settlement in Jan. 1989 and July 1989.
Long term: Setting up of experiments in 1990 to investigate factors affecting
mortality (physical and biological).
(3) Lunar cycle: Settlement peaks are occurring on the full moon.
Plans: To investigate what effect arriving early on the full moon cycle may
have on mortality of cyprids compared to those cyprids arriving late.
Thus on completion of this work, a detailed account of the life history of the
mangrove barnacles will be obtained. Also, the relative importance of larval
availability, settlement and post-settlement factors will be determined in forming
adult distribution and abundance patterns of each species on each substrata. This
information will then provide a comparison to ecological theories about settlement
and recruitment mostly formulated on exposed rocky shores on other
invertebrates and fish.
This research will be completed as outlined in the schedule below.
Dec/Jan/Feb. 1989
Quantification of settlement of H. popeiana/ H. foliorumon trees and leaves
respectively.
Quantification of mortality after settlement of H. popeiana/ H. foliorumon trees and
leaves respectively.
Setting up of experiments on growth and density of H. popeiana/ H. foliorum.
Setting up of experiments on leaf twist and leaf age.
Rearing of H. popeiana andH. foliorumin the laboratory to solve identification
problem of newly settled stages.
Last seasonal sample at Careel Bay.
March/April 1989
Last bi-monthly recruitment collection
Lab work accumulated from above experiments
Writing up of above experiments (including a paper on leaf age and leaf twist)
June/July 1989
Quantification of settlement of E. covertus onto trunks and leaves
Quantification of mortality after settlement of E. covertus on trunks and leaves
Setting up of experiments on growth and density of E. covertus onto trunks and
leaves
Setting up of experiment on leaf twist
42
Quantification of lunar cycle and settlement
Sept/Oct. 1989
Lab work accumulated from above experiments in June/ July
Writing up of above experiments
Jan/Feb. 1990
For H. popeiana and H. foliorum
Experiments on factors affecting settlement on tree trunks (e.g. shading against
desiccation, the effect of microalgae on settlement)
Plankton samples throughout zones in the mangrove forest
Quantification of the lunar cycle and settlement
March/April 1990
Lab work accumulated from Jan/ Feb.
Analysis of data. Writing up of results for thesis
June/July 1990
For E. covertus
Experiments on factors affecting settlement on tree trunks (e.g. shading against
desiccation, the effect of microalgae on settlement)
Plankton samples throughout zones in the mangrove forest
Sept/Oct. 1990
Lab work accumulated from Jan/ Feb.
Analysis of data. Writing up of results for thesis
By April 1991
Completion of writing and production of thesis.
43
Proposal 2
Aspects of the Biology and Culture Techniques
of the Canine-catfish Eel (Plotosus canius Ham.)
Significance:
Demand for fish in the Philippines, as elsewhere in Asia at least, as a source of
high quality protein, is ever increasing, obviously because of the ever-growing
human population. Thus, the search for fish species to be domesticated is always
a major concern. specifically for aquaculture, the need to screen potential species
for domestication in suitable culture systems is due to the fact that several key
species currently reared in aquaculture systems are approaching their natural limit
of growth and additional inputs are necessary to increase production. And
certainly, any scheme to develop appropriate culture techniques for an aquatic
species will depend upon biological data vital to the rearing process.
The Alimusang or canine catfish eel (Plotosus canius Ham.) is one such promising
species and aspects on its biology and culture deserve serious scientific
investigation. these aspects are virtually (if not totally) unexplored to date. At
most, preliminary studies have been done in India and Australia. The first aspect
involves studies of the spatial and temporal distribution, growth, sexual maturity,
fecundity and food and feeding habits of this species. This biological information
is an important base to the culture aspect, which generally involves the
development of appropriate aquaculture technologies, including the nutritional
requirements and artificial propagation of the fish. Specifically, these will
constitute studies in tanks and ponds to evaluate its growth and survival at varying
management levels. Water quality and biological variables in these culture systems
also need to be regularly monitored. Relevant to these, the proposed work will
employ multivariate analytical tools, in contrast to the classical analysis of
variance, to make the greatest use of these parameters in predicting yield and
yield-related variables.
At present, the marketable P. canius which are being sold (at prohibitive prices
because the fish is a delicacy) in public markets (notably in the Bicol Region,
Philippines) have been caught in the wild. This system of resource utilisation is
definitely not dependably stable and prospects for resource development and
management are poor. The two aspects (to be referred to as Study 1 and Study 2
hereafter) mentioned are vital in looking into the feasibility of culturing P. canius
under controlled and semi-controlled conditions toward a desirable production
goal to augment supplies for domestic consumption. The proposed work will
utilise the stock of P. canius from the wild population.
44
Study 1 - Aspects of the Biology of the Canine-catfish Eel (Plotosus canius Ham.)
Specific Objectives:
(1) To determine the relative temporal and spatial distribution of P. canius.
(2) To determine its relative fecundity based on samples collected from the wild.
(3) To determine its sexual maturity.
(4) To describe each of the sexes through its external features.
(5) To determine its food and feeding habits based on mouth structure,
alimentary tract and gut content analysis.
(6) To obtain preliminary growth data of the fish reared in concrete tanks.
Materials and Methods:
(1) Determination of spatial and temporal distribution of P. canius through
surveys and on-site observations. Appropriate statistical survey design will be
considered. Habitat in areas of occurrence will be described.
(2) Relative fecundity will be determined by gravimetric method using specimens
collected from the wild monthly and reared in tanks. The relationship of
specific and relative fecundities with selected morphometric characters will
be determined.
(3) Sexual maturity of the eel will be evaluated from the samples. Stages of egg
development and size of the egg will be obtained from the specimens.
(4) Sexual dimorphism will also be noted from the samples. The morphology of
each sex will also be described. Some morphometric and meristic characters
will be obtained and possible relationships among them will be evaluated
using regression analysis techniques.
(5) Food habits will be inferred from gut content analysis of samples. Feeding
habits will be assessed from the mouth and alimentary tract structures of the
fish.
(6) Fish sampling every 30 days, for length and weight determination using a fish
measuring sheet calibrated by a caliper and an electronic analytical balance,
respectively.
(7) Total harvesting. After 10 months culture, the stock will be totally harvested.
Growth and growth-related parameters will be obtained from the harvest.
(8) Data Analysis. Statistical design is simple Completely Randomized Design
(CRD). Analysis of variance and multivariate analyses will be used as
statistical tools. Statistical software packages will be implemented on an IBM
PC Compatible (All American, NEC).
45
Proposal 3
Studies of Blends of
Polyethylenterephthalate with Nylon 6
Introduction:
When two or more polymers are mixed together the composition is generally
referred to as a polymer blend or polyblend, and can assume many forms. the
forms depend on the degree of miscibility or immisicibility of polymers, including
a random copolymer or block or graft copolymer.
Commercial progress in the area of polyblends during the past two decades has
been tremendous and was driven by the realisation that new molecules are not
always required to meet needs for new materials and that blending can usually be
implemented more rapidly and economically that the development of new
chemistry. Also the tailoring of multicomponent polymer systems is less expensive
than producing a novel homopolymer. It is likely that polyblends will continue to
proliferate.
For several practical applications homopolymers may not satisfy all the end use
requirements, while suitable blending of two or more polymers can provide the
required balance of properties and such considerations form the basis of the
study of polymer blends. This study will describe the development of polymer
blends by the incorporation of nylon 6 to polyethylenterephthalate (PET) to
facilitate the use of P.E.T. as a moulding thermoplastic and consider the
compatibility of the two polymers. Such a study is expected to develop new kinds
of materials to fit a wide range of engineering applications. The shortcomings of
PET which have made its applications restricted include the following:
(a) its low melt viscosity and, hence, low melt strength creating difficulty in its
processing
(b) its low impact strength for engineering application
(c) high glass transition temperature (t g)
(d) slow rate of crystallisation making it highly amorphous in normal moulding
processes.
There are many ways to remove the above problems, but my aim in this study is
to minimise most of them by choice of nylon 6 which might be blended with PET
and considerations of the compatibility characteristics among the components in
this polymer blend should be taken into account.
46
Methodology:
(a) Literature review:
At first I have to do a literature review and a survey in the library of the UNSW
and other sources in the world from international data banks by computer and
telex. Finding all papers about this study, and all information which is related to
this study.
(b) Materials and instruments:
Thinking about materials and instruments and preparing some of them.
Materials such as: polyethylenterephthalate, nylon 6, solvents, etc.
Instruments such as: Extruder, injection moulding, differential scanning
calorimetric, input tester, Universal testing machine for evaluations of tensile
strength, scanning electron microscope etc.
(c) Preparation of blends:
There are at least five distinct techniques for the preparation of polyblends, melt
solution latex blending, block and graft copolymers and synthesis of
interpenetrating networks.
In this study for preparation of blends I will use melt blending process, in which
two polymers are mixed in the molten state. In this process there are no
impurities and it requires no removal of extraneous solvents and the degree of
mixing depends on temperature, shear and time. These three factors must be
controlled, because the will also cause degradation, cross linking and formation of
block and graft copolymers, all of which will affect our understanding of the
product and its properties. The samples of blends with various composition in this
study will be prepared by extrusion and injection moulding.
(d) Characterisation and testing:
- consideration of compatibility of blends of O.S.C., S.E.M., etc.
- morphological observation
- consideration of mechanical properties such as tensile properties. Impact
strength, flexural properties, etc.
47
Structure of Thesis:
- content
Chapter 1: Introduction
This chapter includes background description, summary of previous research
related to this study and aims.
Chapter 2: Experimental
This chapter includes materials, methods of the preparation of blends,
characterisation, testing methods and experimental results.
Chapter 3: Discussion and Conclusions.
Timetable:
- Literature review - 6 months
- Experimental - 24 months
- Writing of thesis - 6 months
References:
(1) Encyclopedia of Polymer Science and Engineering, second edition 1988,
vol.12
(2) Encyclopedia of Polymer Science and Technology. Supplement volume 2,
1977
(3) R.P. Burcord. Polymer blends and networks, a survey. School of Chemical
Engineering and Industrial Chemistry, University of New South Wales.

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2001 Learning Centre, University of Sydney

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